Investment Trading Specialist

DSB Rock Island Wealth Management, LLC; Minnetonka (MN); On-site; USD 70,000 - 90,000; Full time

Job summary

DSB Rock Island Wealth Management, LLC in Minnetonka, MN is seeking an Investment Trading Specialist to join our Wealth Management team. You will execute investment trades, support portfolio implementation, and help ensure an exceptional client experience through accurate trade execution, regulatory compliance, and operational excellence.

The ideal candidate has 3–5 years of experience in investment operations, holds FINRA Series 7 and Series 63 or 66 licenses, and is proficient with Excel and

Qualifications

• Bachelor's degree in Finance, Economics, or related field.
• 3–5 years of experience in investment operations or trade execution.
• FINRA Series 7 and Series 63 or 66 licenses required.
• Experience with investment trading platforms and portfolio management systems.
• Strong proficiency with Microsoft Excel and related tools.
• Knowledge of securities markets and regulatory requirements.

Responsibilities

• Execute buy and sell orders for stocks, bonds, mutual funds, ETFs, and other investment securities.
• Ensure best execution by placing trades accurately and efficiently while monitoring market conditions.
• Support portfolio rebalancing and investment strategy implementation.
• Monitor market activity, economic trends, and trading opportunities that may impact client portfolios.
• Review and reconcile trade activity to ensure accuracy and timely settlement.
• Ensure all trading activity complies with FINRA, SEC, and firm policies and procedures.
• Research and resolve trade discrepancies, corrections, and operational issues.
• Partner with financial advisors to explain trading activity, market information, and investment procedures.
• Maintain accurate trading records and documentation.

Skills

Attention to detail

Analytical skills

Multitasking

Communication skills

Regulatory compliance

Education

Bachelor's degree in Finance, Economics, or related field

Tools

Excel

Trading platforms

Portfolio management systems

Job description

Build your career in investment operations with a Top 25 Twin Cities CPA and Wealth Management firm where precision, collaboration, and client service go hand in hand.

DSB Rock Island is seeking an Investment Trading Specialist to join our Wealth Management team. In this role, you'll execute investment trades, support portfolio implementation, and help ensure an exceptional client experience through accurate trade execution, regulatory compliance, and operational excellence. This is an outstanding opportunity for an investment professional who thrives in a fast-paced environment, enjoys working with financial advisors, and is passionate about delivering outstanding service.

What You'll Do

In this role, you'll work closely with financial advisors to execute investment strategies while maintaining accuracy, compliance, and operational efficiency.

• Execute buy and sell orders for stocks, bonds, mutual funds, ETFs, and other investment securities
• Ensure best execution by placing trades accurately and efficiently while monitoring market conditions
• Support portfolio rebalancing and investment strategy implementation
• Monitor market activity, economic trends, and trading opportunities that may impact client portfolios
• Review and reconcile trade activity to ensure accuracy and timely settlement
• Ensure all trading activity complies with FINRA, SEC, and firm policies and procedures
• Research and resolve trade discrepancies, corrections, and operational issues
• Partner with financial advisors to explain trading activity, market information, and investment procedures
• Maintain accurate trading records and documentation
• Contribute to process improvements that enhance operational efficiency and client service

What We're Looking For

• Exceptional attention to detail with a high level of accuracy
• Strong analytical and problem‑solving skills
• Ability to prioritize multiple tasks in a fast‑paced environment
• Excellent communication and collaboration skills
• Sound judgment, integrity, and commitment to regulatory compliance

Education & Experience

• Bachelor's degree in Finance, Economics, Business Administration, or a related field
• 3 - 5 years of experience in investment operations, brokerage services, trade execution, or financial analysis
• FINRA Series 7 and Series 63 or 66 licenses required
• Experience using investment trading platforms and portfolio management systems preferred
• Strong proficiency with Microsoft Excel and investment technology platforms
• Knowledge of securities markets, trading practices, and financial regulations

Salary Range: $70,000 to $90,000 annually, depending on experience, qualifications, and licensing.